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Univest Securities, Inc.
2012-05-21 06:34
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Univest Securities, Inc.
2012-05-21 06:34 |
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 客戶須知 |
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Welcome to the Univest Securities, Inc. Customer Order Routing Report Page |
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| This is our NASD Rule11Ac1-6 Compliance Page |
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| Quarterly reports have been prepared for Univest Securities, Inc. by Penson Financial Services, Inc. pursuant to U.S. Securities and Exchange Commission Rule 11 Ac1-6 which requires certain brokerage firms to make publicly available quarterly reports on their order routing practices. All orders received by Univest Securities, Inc. on behalf of its customers are directed to Penson Financial Services, Inc. for execution/routing. This report provides information on the routing of "non-directed orders". These are orders that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, Penson Financial Services, Inc. has selected the execution venue on behalf of our customers. The report is divided into four sections: The New York Stock Exchange, The NASDAQ Stock Market, The American Stock Exchange or regional exchanges, and the exchange-listed options. For each section, this report identifies the venues most often selected by Penson Financial Services, Inc. sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of Penson's relationship with the venues. |
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3rd Quarter Of 2010 |
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Copyright 2007, Univest Securities, Inc. All rights reserved. |